Broker/Dealer Advisory Content

[31121] March 8, 2018 TO: Broker/Dealer Advisory Committee RE: BDAC Meeting Notice - April 18-19, 2018 The next meeting of the Broker/Dealer Advisory Committee will take place on Wednesday, April 18 and Thursday, April 19, 2018 at the offices of DST Systems, Inc. located at 210 W 10th...

[31117] March 6, 2018 TO: ICI Members Investment Company Directors ICI Global MembersBank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Transfer Agent Advisory Committee SUBJECTS: Compliance Investment Advisers Transfer Agency RE: SEC Charges Broker-Dealer...

[31072] February 5, 2018 TO: ICI Members Investment Company Directors ICI Global Members Broker/Dealer Advisory Committee Investment Advisers Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee...

[31029] January 17, 2018 TO: Broker/Dealer Advisory Committee Chief Compliance Officer Committee Compliance Advisory Committee Principal Underwriters Working Group Unit Investment Trust Committee RE: FINRA Publishes Its 2018 Regulatory and Examination Priority Letter Last week, FINRA...

[31024] January 12, 2018 TO: Broker/Dealer Advisory Committee Principal Underwriters Working Group RE: ICI Files Comment Letter Supporting FINRA's Proposal Relating to Remote Inspections of Qualifying Offices As we previously informed you, FINRA recently proposed revising its branch...

[30993] December 22, 2017 TO: Broker/Dealer Advisory Committee Principal Underwriters Working Group RE: ICI Supports FINRA Proposal to Permit the Remote Inspection of "Qualifying Locations"; Comments Requested by January 4th As you may know, the Institute has long recommended that...

[30982] December 15, 2017 TO: ICI Members Broker/Dealer Advisory Committee Transfer Agent Advisory Committee SUBJECTS: Investment Advisers State Issues Transfer Agency RE: Texas Publishes Form for Financial Firms to Use to Report Suspected Financial Abuse Effective September 1, 2017...

[30983] December 15, 2017 TO: Broker/Dealer Advisory Committee RE: BDAC Meeting Notice - January 23-25, 2018 The next meeting of the Broker/Dealer Advisory Committee will take place on Tuesday, January 23 through Thursday, January 25, 2017 at the offices of PIMCO Investments LLC...

[30960] November 28, 2017 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Pension Committee Pension Operations Advisory Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Pension RE: DOL...

[30938] November 6, 2017 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Pension Committee Pension Operations Advisory Committee Transfer Agent Advisory Committee SUBJECTS: Pension Tax RE: Connecticut Enacts New...